THOMAS NGUYEN Suspended by FINRA – Goodman & Nekvasil, P.A.

Former CICC US SECURITIES, INC. broker, THOMAS NGUYEN suspended by FINRA.

THOMAS NGUYEN
CRD#: 3092480

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.

THOMAS NGUYEN (CRD#: 3092480), a formerly registered broker for CICC US SECURITIES, INC. in NEW YORK, NY, has been suspended by FINRA.

According to FINRA, Between April 2017 and January 2022, Nguyen and his wife were co-owners and members or governors of three limited liability companies: Nguyen Capital LLC, Nguyen Ventures LLC, and Nguyen Properties LLC. All three limited liability companies were actively conducting business activities that Nguyen was required to disclose to CICC US. Nguyen was also required to sign and submit regular compliance affirmations disclosing his outside business activities to CICC US but did not include these entities in 16 such compliance affirmations.

Nguyen consented to the following sanctions:
A three-month suspension from associating with any FINRA member in all
capacities and a $7,500 fine.

THOMAS NGUYEN Suspended by FINRA.

Goodman & Nekvasil, P.A., is investigating brokers who may have exercising unauthorized discretion in customer accounts.

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.

We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 6/03/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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THOMAS NGUYEN Suspended by FINRA – Goodman & Nekvasil, P.A.

Goodman & Nekvasil, P.A., is investigating brokers who may have exercising unauthorized discretion in customer accounts.

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